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Securities Registrations Specialist

February 16, 2026

<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-align:left"><b><u>Job Description</u></b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div><p><b>What is the opportunity?</b></p><p></p><p>The Registrations Specialist is responsible for handling all aspects of securities, commodities, Municipal Advisor and investment advisor registration respective to individuals associated with the US broker-dealers under RBC Capital Markets, LLC and its affiliates. This position covers the US broker-dealer across all business lines.</p><p></p><p>This role is a fully remote (work from home) opportunity.</p><p></p><p><b>What will you do?</b></p><ul><li>Prepare and submit all initial applications for individual securities, investment adviser, municipal advisor and commodities licenses and ensure that all employees are appropriately licensed to conduct their job responsibilities</li><li>Coordinate the submission of branch and entity registration forms, and termination submissions for various firm departments</li><li>Process consent and disclosure checks for all potential new hires who will be associated to the US broker-dealer</li><li>Process initial Form U4s and relicense transfers for registered employees who join RBC Capital Markets, LLC and its affiliates</li><li>Amend employee registrations records with respect to customer complaints, arbitrations, litigations and internal <span style="overflow-wrap: break-word; display: inline; text-decoration: inherit; hyphens: auto;">reviews/investigations</span></li><li>Communicate with FINRA, NFA and the various state regulators to follow-up on any applicable registrations matters</li><li>Research and correct licensing deficiencies</li><li>Complete Form U4 updates as applicable for name changes, address changes and outside business activities</li><li>Amend Form U4 for required disclosures, such as bankruptcy, lien, judgement, garnishments, regulatory and criminal events. </li><li>Prepare and submit Form 8R filings as applicable</li><li>Process Form U5 filings as applicable</li><li>File Form U4 amendments requesting qualifying examinations on the FINRA Gateway System</li><li>Track Regulatory Element continuing education and escalate when necessary</li><li>Submit individuals for NFA Proficiency exams, track completion and generate weekly reporting</li><li>Maintain and reconcile the various registration databases and prepare registration reports as needed</li><li>Keep informed of changes in registration requirements and implement new procedures accordingly; communicate licensing policies and procedures to the business</li></ul><p></p><p><b>What do you need to succeed?</b></p><p><b>Must-have</b></p><ul><li>Bachelor’s Degree or equivalent work experience</li><li>2-4 years of experience in banking or financial services</li></ul><p></p><p><b>Nice-to-have</b></p><ul><li>Working knowledge of MS Office (Word, Excel, PowerPoint)</li><li>FINRA Gateway</li><li>Form ADV, MSRB/Edgar and NFA ORS</li><li>Strong interpersonal skills and ability to handle situations that may require escalation</li><li>Problem solving abilities, customer service orientation with a high degree of professionalism</li></ul><p></p><p><b>What’s in it for you?</b></p><p>We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.</p><ul><li>A comprehensive Total Rewards Program include competitive compensation and flexible benefits, such as 401(k) program with company-matching contributions, health, dental, vision, life, disability insurance, and paid-time off.</li><li>Leaders who support your development through coaching and managing opportunities.</li><li>Ability to make a difference and lasting impact.</li><li>Work in a dynamic, collaborative, progressive, and high-performing team.</li><li>Opportunities to do challenging work.</li><li>Opportunities to build close relationships with clients.</li></ul><p></p><p><i>For Minnesota:</i> The expected salary range for this particular position is $45,000-85,000, depending on your experience, skills, and registration status, market conditions and business needs.</p><p></p><p>You have the potential to earn more through RBC’s discretionary variable compensation program which gives you an opportunity to increase your total compensation, provided the business meets its performance targets and you meet your individual goals.</p><p></p><p>RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that:</p><ul><li>Drives RBC’s high-performance culture</li><li>Enables collective achievement of our strategic goals</li><li>Generates sustainable shareholder returns and above market shareholder value</li></ul><p></p><p></p><p style="text-align:left"><u><b>Job Skills</b></u></p>Audits Compliance, Critical Thinking, Data Gathering Analysis, Decision Making, Industry Knowledge, Internal Controls, Interpersonal Relationship Management, Product Services, Risk Management, Strategic Thinking<p></p><p></p><p style="text-align:left"><u><b>Additional Job Details</b></u></p><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-align:left"><b>Address:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>250 NICOLLET MALL:MINNEAPOLIS<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-align:left"><b>City:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>Minneapolis<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-align:left"><b>Country:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>United States of America<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-align:left"><b>Work hours/week:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>40<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-align:left"><b>Employment Type:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>Full time<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-align:left"><b>Platform:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>CHIEF LEGAL & ADMIN OFFICE GRP<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-align:left"><b>Job Type:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>Regular<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-align:left"><b>Pay Type:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>Salaried<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-align:left"><b>Posted Date:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>2025-10-10<div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-align:left"><b>Application Deadline:</b></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>2025-10-31<p style="text-align:left"><span class="emphasis"><u><b>Note</b></u><b>:</b></span> <i>Applications will be accepted until 11:59 PM on the day prior to the application deadline date above</i></p><p></p><p></p><p style="text-align:left"><b>I</b><b><b>nclusion</b> and Equal Opportunity Employment</b></p><p style="text-align:inherit"></p><p style="text-align:left">At RBC, we believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.</p><p></p><p></p><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><div><p style="text-align:left"><b>Join our Talent Community</b><br><br><span>Stay in-the-know about great career opportunities at RBC. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.</span><br><br><span>Expand your limits and create a new future together at RBC. Find out how we use our passion and drive to enhance the well-being of our clients and communities at <a href="https://jobs.rbc.com/ca/en" target="_blank" rel="noopener noreferrer">jobs.rbc.com</a>.</span></p></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div></div>

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Common Interview Questions And Answers

1. HOW DO YOU PLAN YOUR DAY?

This is what this question poses: When do you focus and start working seriously? What are the hours you work optimally? Are you a night owl? A morning bird? Remote teams can be made up of people working on different shifts and around the world, so you won't necessarily be stuck in the 9-5 schedule if it's not for you...

2. HOW DO YOU USE THE DIFFERENT COMMUNICATION TOOLS IN DIFFERENT SITUATIONS?

When you're working on a remote team, there's no way to chat in the hallway between meetings or catch up on the latest project during an office carpool. Therefore, virtual communication will be absolutely essential to get your work done...

3. WHAT IS "WORKING REMOTE" REALLY FOR YOU?

Many people want to work remotely because of the flexibility it allows. You can work anywhere and at any time of the day...

4. WHAT DO YOU NEED IN YOUR PHYSICAL WORKSPACE TO SUCCEED IN YOUR WORK?

With this question, companies are looking to see what equipment they may need to provide you with and to verify how aware you are of what remote working could mean for you physically and logistically...

5. HOW DO YOU PROCESS INFORMATION?

Several years ago, I was working in a team to plan a big event. My supervisor made us all work as a team before the big day. One of our activities has been to find out how each of us processes information...

6. HOW DO YOU MANAGE THE CALENDAR AND THE PROGRAM? WHICH APPLICATIONS / SYSTEM DO YOU USE?

Or you may receive even more specific questions, such as: What's on your calendar? Do you plan blocks of time to do certain types of work? Do you have an open calendar that everyone can see?...

7. HOW DO YOU ORGANIZE FILES, LINKS, AND TABS ON YOUR COMPUTER?

Just like your schedule, how you track files and other information is very important. After all, everything is digital!...

8. HOW TO PRIORITIZE WORK?

The day I watched Marie Forleo's film separating the important from the urgent, my life changed. Not all remote jobs start fast, but most of them are...

9. HOW DO YOU PREPARE FOR A MEETING AND PREPARE A MEETING? WHAT DO YOU SEE HAPPENING DURING THE MEETING?

Just as communication is essential when working remotely, so is organization. Because you won't have those opportunities in the elevator or a casual conversation in the lunchroom, you should take advantage of the little time you have in a video or phone conference...

10. HOW DO YOU USE TECHNOLOGY ON A DAILY BASIS, IN YOUR WORK AND FOR YOUR PLEASURE?

This is a great question because it shows your comfort level with technology, which is very important for a remote worker because you will be working with technology over time...